Block
FinServ
RegulatoryProgramOwner,CashAppInvesting
“Regulatory Program Owner, Cash App Investing at Block. Skills: broker-dealer compliance, regulatory program ownership, communications reviews, registered person oversight, AI tools. Own broker-dealer communications reviews, including pre-approval of retail communications under FINRA Rule 2210 and supervision of internal communications. Own certain registered person oversight responsibilities, including employee supervision”
What You'll Achieve.
ensure CAI meets its regulatory obligations; enabling the business to move fast and serve millions of customers; improving the quality, consistency, and efficiency of our compliance program; maintaining the rigorous human oversight that our regulatory framework requires; drive efficiency and precision across your work; providing critical human judgment and oversight
Industry & Context.
identify opportunities to automate and improve compliance processes; evaluate AI outputs for accuracy and risk
What They're Looking For.
Must Have
5+ years of experience in broker-dealer compliance, regulatory operations, or a related supervisory function at a FINRA-registered firm, Active FINRA Series 7 and Series 24 and Series 63 registrations (preferred), or ability to obtain within 120 days of hire, Demonstrated proficiency with AI tools- you actively use generative AI in your daily work to draft, analyze, review, and automate tasks, and can articulate how you evaluate AI outputs for accuracy and risk, Direct experience with communications supervision (FINRA Rules 2210, 3110), including keyword-based and sample review programs, Experience supporting or responding to FINRA or SEC examinations, Excellent written communication skills - you can draft regulatory responses, compliance memos, and governance artifacts that are clear, precise, and examination-ready, Comfort operating in a fast-paced environment where you are expected to own outcomes across multiple workstreams, Intellectual curiosity and a bias toward experimentation — you stay current with evolving AI tools and look for ways to apply them to compliance challenges
Nice to Have
Active FINRA Series 7 and Series 24 and Series 63 registrations
What You'll Do.
Own broker-dealer communications reviews
including pre-approval of retail communications under FINRA Rule 2210 and supervision of internal communications
Own certain registered person oversight responsibilities
including employee supervision
Provide compliance coverage across many other areas within a cross-functional coverage model
Support compliance advisory for product and business priorities
Contribute to governance activities including board reporting
and compliance program documentation
Assist with regulatory examination and inquiry responses
including document production and narrative drafting
Use AI tools as a core part of daily execution
and also identify opportunities to automate and improve compliance processes
contributing to the team’s migration to an AI-first operating model
How You'll Work.
Team & Collaboration
Partner across Legal, Product, Engineering, and Operations; Provide compliance coverage across many other areas within a cross-functional coverage model; Support compliance advisory for product and business priorities
Communication Scope
Excellent written communication skills; draft regulatory responses; compliance memos; governance artifacts that are clear, precise, and examination-ready
Process & Methodology
Own outcomes across multiple workstreams
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